Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cathy? Claim Your ProfileCathy Reed is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Cathy has been in the industry since 1997. Cathy is registered with the state of Texas and has a Series 7, 24, 31, and 63 license, and the SIE exam. Cathy has experience with a variety of investment products and services, including stocks, bonds, mutual funds, and ETFs. Cathy has previously worked for J.P. Morgan Securities LLC, CHASE INVESTMENT SERVICES CORP., LPL FINANCIAL CORPORATION, NEW ENGLAND SECURITIES, H&R BLOCK FINANCIAL ADVISORS, INC., and MORGAN STANLEY DW INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
05/31/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GEORGETOWN TX)
TX
10/01/2012 - 05/24/2017
J.P. MORGAN SECURITIES LLC (AUSTIN TX)
TX
08/26/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
TX
04/01/2004 - 07/21/2009
LPL FINANCIAL CORPORATION (AUSTIN TX)
NY
04/22/2003 - 04/02/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
MI
01/13/2003 - 02/21/2003
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
NY
10/22/1996 - 01/13/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 11/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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